InvestmentNews

InvestmentNews
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MUTUAL FUNDS MAY 03, 2017
Putnam kicks off expanded ESG effort

Firm hires Katherine Collins to lead sustainable investing team

WIREHOUSES MAY 03, 2017
Wells Fargo team managing $239 million joins Ameriprise

Two Texas reps sign on to employee channel

WIREHOUSES MAY 02, 2017
Former Merrill Lynch broker convicted of wire fraud

Jesse Joseph Holovacko took $255,000 from client IRA claiming to buy bonds.

RIA NEWS MAY 02, 2017
Merrill Lynch veteran moves to Raymond James

Walter Stamper of Chattanooga, Tenn., managed $147 million.

RIA NEWS MAY 02, 2017
Wells Fargo's FiNet loses $300 million team to HighTower

Synergy Capital Solutions has offices in Illinois, Florida and Michigan.

REGULATION, LEGAL & COMPLIANCE MAY 02, 2017
Court enters judgment against Connecticut adviser for Ponzi scheme

Mark J. Varacchi may have to return $3.95 million his firm allegedly stole from investors.

RIA NEWS MAY 02, 2017
$400 million Merrill Lynch rep moves to Raymond James

Michael Jeppson goes indie in Manhattan Beach, Calif.

REGULATION, LEGAL & COMPLIANCE APR 28, 2017
Finra bars former broker for unsuitable trades

In one example, Scott Allen Sibley allegedly exposed risk-averse retiree to naked options.

RIA NEWS APR 27, 2017
Jailed former LPL rep faces SEC fraud charges

Ex-broker now accused of violating securities laws with fictitious investments

WIREHOUSES APR 27, 2017
Merrill Lynch veteran moves to Raymond James

Walter Stamper of Chattanooga, Tenn., managed $147 million